Career Opportunities

Senior Auditor, Wealth Management -- TD Bank

Posted: February 7, 2019

 

 

TD Bank, America's Most Convenient Bank®
Senior Auditor (US) – Wealth Management
Mount Laurel NJ; West Falmouth ME; Greenville SC



The Senior Auditor executes critical audits for an assigned business, function or project and/or provides audit expertise and executes audit processes as part of a team or as an individual contributor. This role may lead simple to less complex audits, related engagements and/or projects/initiatives. They independently assess control design and operating effectiveness during audits, and provide on the job training for audit associates.

TD Bank, America's Most Convenient Bank, is a member of TD Bank Group and a subsidiary of The Toronto-Dominion Bank of Toronto, Canada, a top 10 financial services company in North America. The Toronto-Dominion Bank trades on the New York and Toronto stock exchanges under the ticker symbol "TD". To learn more, visit www.td.com


Inclusiveness
At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach her/his potential.

If you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity


Job Requirements
· Experience in Wealth Management, including fiduciary, private banking, brokerage, and registered investment advisory functions
· Working knowledge and interest in related risks and regulations, such as Regulation 9, FINRA, and SEC rules. .
· May lead simple to less complex engagements/initiatives
· · Performs assigned test steps for audits, findings follow‐up, special projects; form conclusions· Receives coaching sessions, feedback discussions from in‐charge manager

· Makes discretionary decisions and applies professional judgment when assessing control
· Provides recommendations to management regarding the control environment
· Participates in post‐audit critique meeting
· Develops skills to build and maintain relationships within, and external to, audit
· Recognizes team members' contributions
· Participates in, and actively supports implementation of department improvement initiatives
· Must be eligible for employment under regulatory standards applicable to the position.


 

Qualifications
· Undergraduate degree or relevant professional certifications, accounting designations, or equivalent education required
· 3+ years of relevant experience

 

Apply to Posting Position Req ID 232515BR at  https://jobs.td.com/en/

 

 

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